Grievance procedure: Guidelines

On this page:

Application and scope
General principles
Authority to act
Roles and responsibilities
Mediation
Informal procedure
Formal procedure
Appeal
Appendix A: Levels for action
Appendix B: Conduct of a grievance hearing
Appendix C: Conduct of an appeals hearing

1. Application and scope

1.1 It is the University's policy to ensure that employees with a grievance relating to their employment have access to a procedure which can help to resolve grievances as quickly and as fairly as possible. The purpose of the grievance procedure is to address matters within the workplace that are of concern to individual members of staff, in order to promote a positive and constructive working environment and working relationships.

1.2 Grievances are concerns, problems or complaints that employees raise with their employer. They may be related to any aspect of the employment relationship including working practices, the physical working environment, terms and conditions, health and safety, working relationships or general treatment at work etc.

1.3 The grievance procedure provides a structured approach to enable employees to raise their concerns with managers. It provides individuals with a course of action should they have a complaint which they are unable to resolve either by taking self action or through regular communication with their line manager. The aim is to ensure prompt, consistent and fair treatment for all staff in order to promote effective working relationships. It is the responsibility of the line manager to seek to resolve grievances at the earliest opportunity.

1.4 The procedure does not apply to the settlement of collective grievances which should be addressed through the University's Dispute Resolution Procedure. It should, however, be recognised that a number of employees within a department may raise the same/similar concerns which would fall to be dealt with under the grievance procedure. In such cases an individual employee may pursue the matter on behalf of the group. The group will be required to confirm, in writing, that they have nominated that individual to proceed on their behalf.

1.5 The procedure will cease to apply after the contract of employment of the member of staff bringing or seeking to raise a grievance has terminated for any reason. Where, however, a grievance is outstanding as at the date of termination, or is submitted immediately prior to termination, the University will seek to resolve the grievance by the most appropriate means. It will be for the University to determine how to proceed.

1.6 Links with other procedures - The grievance procedure should not be used to address issues which would appropriately fall to be considered under another procedure. The procedure cannot therefore be used to challenge formal outcomes in other procedures which have an appeal process, namely:

1.7 Where paragraph 1.6 above does not apply, a grievance raised by an employee subject to one or more of the above procedures will be dealt with in the normal way and in parallel with the other procedure.

1.8 Movement between procedures - If after commencing the procedure, the grievance hearing manager in conjunction with an HR manager, considers that the case in question should have been dealt with under an alternative procedure the case may be transferred to a different procedure. The employee concerned may also make representations regarding the procedure to be followed. In cases of disagreement the Director of HR will determine the appropriate procedure to be followed and there shall be no appeal against that decision. Those involved will be informed of the reasons for the movement between procedures.

1.9 There may be occasions when as a consequence of information obtained under one procedure it is appropriate to initiate action under an alternative procedure.

1.10 Investigations that have been undertaken in one procedure may be used as and where appropriate to inform another procedure.

1.11 Appointment of External Investigator - The appointment of an external investigator may be considered for a Formal Investigation in exceptional circumstances depending on the nature/complexity of the issues involved. This will be determined by the Director of HR.

2. General principles

The following principles will apply to the application of this procedure:

2.1 Informal resolution - Where procedures and circumstances allow an opportunity for informal resolution this should be considered at as early a stage as possible. This will require the willingness of those involved but should be considered before moving to the formal procedure.

2.2 Right to be accompanied

2.2.1 Formal meetings - All employees who are the subject of this procedure will have the right to be accompanied at any formal meetings held under this procedure by a single trade union representative or work colleague. The work colleague must be an employee of the University of York. Employees are expected to make all arrangements for their work colleague to attend meetings and it is expected that adequate time be allowed to arrange representation and for attendance. Where the chosen companion cannot attend on the date proposed, the employee can propose an alternative time and date so long as it is reasonable and is within a reasonable timescale, normally five working days of the original date.

2.2.2 Informal meetings - By agreement, the facility to be accompanied may be extended to the informal stage where this is deemed to be in the interests of an early resolution. If a member of staff wishes to be accompanied at an informal meeting, permission will not be unreasonably withheld.

2.2.3 Role of representative or companion - See Section 4 for roles and responsibilities.

2.2.4 Definition of representative or companion - While legal representation would not normally be consistent with an internal procedure, there may be situations when it may be helpful for either party to be legally represented and, subject to agreement, legal representation may be appropriate. Employees should note that the absence of legal representation will not prejudice their legal rights and they will still have recourse to the provisions of employment law.

2.3 Equality and diversity

2.3.1 If there are equality or diversity issues that are relevant to the employee these should be made known to those involved and appropriate support provided by the University. In the case of a disability or language issue an employee may be accompanied by an appropriate person to provide support.

2.3.2 Managers should check if there are any special arrangements, e.g. support for a disability that an employee or their companion may require to enable them to participate fully in the procedure. Appropriate guidance may be sought from an HR Manager. Correspondence in relation to this procedure will invite the employee to inform the University if they require additional support.

2.4 Confidentiality

2.4.1 All parties involved in this procedure must ensure that they maintain the confidentiality of the process as appropriate within and outside the University. It might be appropriate, for example, for a member of staff to discuss a procedure with their partner or with a trade union official. Disclosure of information by any of the parties involved might also occur where this is required under law or where there is a circumstance involving duty of care which requires disclosure, e.g. where a manager has concerns for the well being of the employee or others.

2.4.2 Audio and video recording of meetings is not permitted except in exceptional circumstances by prior agreement of all parties.

2.5 Involvement of Human Resources

2.5.1 A member of the Human Resources team will be consulted and will advise on the formal process. An HR representative will normally be present in formal hearings.

2.5.2 If required, a further person, normally from HR, will act as note taker during such formal hearings. The notes will be provided to both parties who will have the opportunity to submit their comments.

2.6 Timescales

2.6.1 The aim throughout this procedure is to ensure that staff are treated reasonably and in accordance with the principles of fairness and justice. All procedures should be expedited as soon as reasonable while still allowing these principles to be achieved.

2.6.2 While every endeavour will be made to comply with timescales, due to the complexity and or specific circumstances of a case, timescales may be extended, in such circumstances the individuals will be advised of the reasons for any delay.

2.6.3 To prevent delays communication in relation to this procedure may be issued via electronic mail.

2.6.4 A discussion about provisional timescales will take place with relevant parties at the beginning of a Formal Investigation. Where, during the conduct of a Formal Investigation, these timescales need to be reviewed for example because of the nature and/or complexity of the issues concerned, relevant parties will be informed.

2.6.5 In complex and protracted cases, brief updates on the progress of Formal Investigations will be provided by the Investigating Officer to relevant parties.

2.7 Attendance

2.7.1 If an employee does not attend a meeting convened under this procedure normally the meeting will be adjourned to establish contact with the employee to ascertain the reason for their absence.

2.7.2 However, where an employee persistently fails to attend a meeting/ hearing without good cause, the appropriate manager will make a decision on the evidence available.

2.8 Conflict of interest

2.8.1 Individuals who are involved in the procedure must ensure that any involvement they have which might cause a conflict of interest are disclosed to the Investigating Officer or Hearing Officer at the earliest opportunity so they may be managed appropriately.

3. Authority to act

3.1 The term Head of Department includes Heads of (or Directors of) Support Service Directorates. The Head of Department may select a nominee to act on their behalf. The nominee will be agreed in conjunction with HR and will be a senior colleague. In the absence of the Head of Department it may be appropriate for the manager deputising for the HoD to act on their behalf.

3.2 There may be exceptional circumstances where it would not be appropriate for the Head of Department to act in a case e.g. the Head of Department is required to act as a witness or is the subject of a complaint. In such circumstances the case will be referred to the Director of HR who may refer the case to an alternative Head of Department or a more senior officer of the University.

4. Roles and responsibilities

Title	Role
Grievance Hearing Manager	Line managers, including but not limited to, Heads of Department, will usually deal with grievances. They may consult with HR and if necessary appoint an investigatory manager and following receipt of the investigation report be authorised to make decisions in relation to the grievance.
HR representative - member of the HR team usually HR Advisor or HR Officer	The HR representative will provide advice in respect of the application of this procedure. They will support the manager in the process of making an informed, fair and reasonable decision. They will ask questions at the hearing and challenge evidence where required.
Employee	Will be provided with the opportunity to bring forward information and put their case at any meetings/ hearings. They may question the witnesses and/or the presenting manager and may make representations to the appeal officer.
Representative or companion	This may be either a Trade Union representative or work colleague. they will support and advise the employee, and may ask any questions or make any representations on behalf of the employee. They cannot answer questions that are directly put to the employee.
Manager who made the original decision being appealed	May present the case or be a witness to explain the decision being appealed. May be accompanied by advisor.
Witnesses	May provide evidence in relation to the subject of the grievance.
Note taker	To take notes of the hearing. These will be notes of key points and will not be a verbatim record. The notes will be provided to both parties who will have the opportunity to submit their comments.
Appeal Officer	To lead and direct the hearing, decide if the employee's appeal is justified, by questioning and challenging all available evidence in order to make an informed, fair and reasonable decision. The appeal officer should encourage all parties to speak freely to establish all the facts and determine if there are any special circumstances to be taken into account.
Investigatory manager	Manager appointed to investigate a grievance. He/she may be called as a witness to answer questions relating to the investigation and may be required to carry out further investigation as directed by the manager who initiated the investigation.
Senior Manager	Member of the University Executive Board, Dean of Faculty, Associate Dean, Head of Support Directorate (Senior Management Group), Head of Department.

4.1 Individuals involved in specified roles should not be compromised in fulfilling those duties, for example, due to, significant prior knowledge of or involvement in the case or undertaking another role such as witness. If there is any concern from any party regarding potential compromise, this should be raised with the Director of HR.

4.2 If a senior manager is subject to this procedure their line manager would be responsible for managing the process and adopting the roles as indicated for Heads of Department.

5. Mediation

5.1 Mediation is considered to be a useful means of resolving difficulties in the workplace, particularly where interpersonal relationships are involved. Mediation may be proposed by a manager or investigating officer as a way of addressing a grievance. It is voluntary and will take place only if all parties agree. It is, however, hoped that employees will recognise the benefits of seeking to resolve issues via mediation and will be amenable to and cooperate with this approach. Where mediation is agreed managers will be expected to facilitate time for employees to attend for mediation.

5.2 The grievance procedure will be put on hold whilst any mediation takes place. In the event that mediation does not resolve the concerns raised, the grievance procedure will re-commence at the point reached prior to referral for mediation. Any discussions that have taken place as part of the mediation process will not be admissible as evidence in the reconvened procedure.

5.3 Where a grievance is resolved through mediation, it is anticipated that the mediator will assist the parties to draw up a written agreement. This agreement will remain confidential to the parties involved. The manager responsible for dealing with the grievance will, however, be informed if the grievance is resolved in this way. The parties may release additional information about the settlement by mutual agreement.

6. Informal procedure

6.1 There is an expectation that every effort will be made to seek to resolve grievances informally. It is important, therefore, that managers recognise the potential for a grievance to arise and seek to address issues raised with them at the earliest opportunity.

6.2 When an employee approaches a manager expressing concern about an issue, the manager should explore with the employee the basis of the concern and the desired outcome. The manager may be in a position to address the issue immediately or may need to undertake further investigation or involve third parties. The manager should explore with the individual the different steps available under the informal stage (see below), some of which include taking personal action.

6.3 It is important that the employee is kept updated on progress and advised of the outcome of the grievance. The manager will confirm the outcome in writing and advise the employee of their right to pursue the matter under the formal stages of the grievance procedure if they remain aggrieved.

Informal stage

Taking personal action

If an individual feels that they have been, or are being subjected to harassment or bullying, they may feel able to take action on their own to make the other person aware of the effect of the behaviour on them and how they may be able to amend it; this is encouraged where appropriate and safe to do so.

In some cases, the reported staff member may be unaware that their behaviour is having a detrimental impact on another individual. This is worth considering as it may be a fairly straightforward matter to point out to them what it is that has caused offence or has been interpreted in a particular way and that may be sufficient to prevent a recurrence.

In many situations, taking personal action can be the most effective and relatively simple way to raise concerns and resolve issues. However, an individual should not feel obliged to raise concerns in this way and should be made aware of the other available options.

An individual may feel able to have a conversation with, or write to, the other person and explain, as clearly as possible, what it is that they consider to be unacceptable about the behaviour and suggest to them how they may be able to amend it.
An individual may arrange to talk to a line manager , HR adviser or Trades Union representative to explore options for resolution and support; this may include mediation in appropriate circumstances.
If an individual does decide to take personal action it may be advisable to note down factual information about the discussion that takes place and any agreed outcomes. It will also be helpful to keep copies of relevant written or email correspondence.

Right to be accompanied

The reported staff member and the reporting party have the right to be accompanied and supported by a Trades Union representative or by a colleague of their choice from within the University at any meeting held under this procedure (legal representation would not be appropriate as these meetings do not form part of a legal process).

Involving a line manager

If the individual has not been able to resolve the issue through a personal approach – or does not wish to follow this route - but still wishes to seek informal resolution, they should approach their line manager to ask for support in achieving a resolution of the problem. The reporting party should provide details to their line manager regarding the incident(s) of alleged harassment/bullying.

It is the responsibility of the line manager – with advice and support from the HR Partner/HR Advisor - to seek to resolve the matter.
If the report is against the member of staff’s line manager, it should be raised with the next level of line management.
The line manager will consult with the reporting party before deciding how to progress this and will be done in a sensitive and appropriate manner.
In all cases when receiving an informal report, the line manager may seek advice from their HR Partner/HR Advisor to inform the next steps. This may involve a conversation to explain the situation and verify that the proposed next steps are appropriate.
The line manager – in consultation with their HR Partner/HR Advisor – may decide on a number of actions depending on the nature of the report which may include:
- Brief fact-finding in order to establish what has occurred.
- Making recommendations as to how the reporting party may resolve the issue themselves.
- Negotiating agreed standards of behaviour between the parties involved.
- Communications to all parties in order to reinforce appropriate policies, procedures or broad expectations the University has around conduct within the workplace and institutional values.
- Negotiating a way forward between the parties for example facilitating – where appropriate – an apology and/or a commitment not to repeat the behaviour.
- Making temporary or permanent adjustments to working arrangements.
- Referring the matter to a more senior manager in cases where serious harassment or bullying may have occurred.

The line manager and HR Partner/HR Advisor will take account of the wider implications of any report. For example, they will consider whether the report may be part of a more systemic pattern of behaviour within the workplace.

In circumstances where the reporting party would prefer not to go to their line manager or escalate to a more senior manager it is advised that they contact their HR Partner/HR Adviser to discuss a suitable approach.

Entering a mediation process

In some situations, it may be appropriate to ask the parties to consider entering into a mediation process. Although mediation may be attempted at any time before or after a formal investigation, it may be particularly helpful if it is considered at an early stage before the formal procedure is invoked.

There is further reading on mediation in section 5 of the guidelines and section 3 of the procedure.

Mediation service

Document control: Last reviewed and updated on 18 February 2025.

7. Formal procedure

7.1 Stage One - Formal resolution

7.1.1 If the grievance has not been satisfactorily resolved through informal action, the employee should write to the manager advising them of their intention to invoke the formal grievance procedure using the grievance form.

7.1.2 The grievance form and notification should be addressed to the person indicated in appendix A with a copy to the HR Adviser for the department concerned. The employee should keep a copy of the letter.

7.1.3 The manager will write to the employee acknowledging receipt of the grievance within five working days, inviting the employee to attend a formal grievance meeting with him/her in order to discuss the grievance. This meeting will normally take place within ten working days of the written grievance.

7.1.4 The purpose of the meeting is to understand more fully the nature of the grievance. The employee will be invited to explain their concerns and may submit information for consideration in support of the complaint.

7.2 Investigation

7.2.1 If, as a result of the grievance meeting, the relevant manager decides that further investigation is required, an investigatory manager will be appointed to undertake a thorough and impartial investigation. This will be carried out with sensitivity to both the employee making the complaint and the person(s) against whom the grievance lies. See the guidance on identifying an investigating manager below.

Identifying an investigating manager

Upon receipt of a formal grievance and as appropriate, the grievance hearing manager will seek advice from the HR Adviser to agree who will be an appropriate investigating manager to undertake the investigation. The investigating manager will usually be a manager in another department of an appropriate level of seniority.

In cases relating to the dignity at work and study policy, neither the grievance hearing manager nor the investigating manager should have had significant previous contact with the reporting party, the reported staff member or issues identified in the report.

In cases relating to the Dignity at Work and Study policy, the relationship between the reporting party and the reported staff member will determine who will be the grievance hearing manager and investigating manager. For example the report may be against a colleague who is a peer, against their line manager or against someone who works in another department.

Document control: Last reviewed and updated on 18 February 2025.

7.2.2 A grievance investigation may involve:

Interviewing the employee who has raised the grievance, the person(s) against whom the grievance lies and any witnesses if appropriate
and/or Gathering relevant documentary evidence from the individual who has raised the grievance and other relevant individuals.

7.2.3 The investigatory manager will consider all the relevant facts of the case and report to the grievance hearing manager (who initiated the investigation) as to their findings. This will normally be in the form of a report summarising the process of investigation, nature of the concerns raised and the findings.

7.2.4 All parties are expected to cooperate fully and promptly with any investigation. This will include providing details of any witnesses and/or relevant documents to the investigatory manager and attending any investigatory meetings. If, for any reason, the individual raising the grievance decides not to cooperate, the investigation may still continue.

7.2.5 The individual raising the grievance and any person(s) against whom the grievance lies will be provided with the findings of the investigation and given the opportunity to comment.

7.2.6 The investigation report, together with any comments received, will be provided to the grievance hearing manager and will be made available to the employee raising the grievance and any employee(s) against whom the grievance lies. It is for that manager to consider the findings of the investigation and to determine how to proceed.

7.2.7 Following the investigation, the grievance hearing manager may deem it appropriate to hold a further grievance meeting with the employee raising the grievance. The purpose of this meeting is to seek clarification on any further issues that might have arisen, to allow the employee to comment on the findings of the investigation and to explore ways of resolving the issue.

7.2.8 If appropriate, the authorised manager may also meet with the person(s) against whom the grievance lies.

7.2.9 It may be appropriate to hold further grievance meetings with the individual in the interests of seeking an appropriate resolution to the issue.

7.2.10 Although the procedure is designed to avoid, as far as possible, the need for formal meetings, there may be occasions when it would be appropriate to hold a formal grievance hearing. In such cases the investigatory manager will normally present the findings of the investigation to the hearing. The hearing will be conducted in accordance with the guidance at Appendix B.

7.3 Outcome

7.3.1 The grievance hearing manager will determine the outcome of the grievance. They may reject the grievance, or may uphold the complaint and indicate what steps have been/should be taken to resolve it. For further information, read the potential grievance outcomes guidance below.

Potential grievance outcomes

Depending on the nature of the grievance and the evidence found, including the findings of any investigation, the grievance hearing manager will ensure - in consultation with the HR Adviser – that the following are considered and implemented as appropriate.

Outcome A

Find there is no case to answer - the grievance(s) is not upheld and therefore take no further action, other than, where appropriate, implement or recommend steps that would be beneficial or, in cases relating to interpersonal relations, to help to restore a reasonable professional relationship between the parties. It is acknowledged that both parties may need support in moving on from the event(s) which may involve advice being sought from the HR Adviser.

This approach will usually be appropriate where any claim(s) of harassment or bullying is (are) considered to be unfounded and where there is a continuing relationship between the parties or an informal resolution has been reached.

Outcome B

Uphold the grievance and initiate resolution of the issues. Depending on the nature of the grievance, this may be via a written instruction or recommendation to the individual's line manager. In cases relating to the Dignity at work and study policy, this may be by requiring that certain individuals undertake specific training or implementing practical arrangements to improve professional relationships. If a successful resolution is achieved the case will be closed, but the situation will be monitored for an appropriate period.

This approach will usually be appropriate where the evidence does not support a claim of harassment or bullying but it is clear that either party has demonstrated behaviours that are likely to lead to further issues between them if unresolved or alternatively, that there are other issues within a department that require management attention.

Outcome C

Uphold the grievance and invoke the Disciplinary Procedure against the reported staff member where the grievance hearing manager is reasonably satisfied that there is evidence to support allegations of a sufficiently serious nature.

In this event, the manager will determine what intermediate measures are necessary, including any reallocation of duties, including line management and supervision responsibilities.

If there is a recommendation that an individual has a disciplinary case to answer, the investigating manager will discuss this with the HR Adviser and a senior member of the University who has not previously been involved will be appointed to consider the case under the University's Disciplinary Procedure.
In accordance with the Disciplinary Procedure the formal grievance investigation report will be provided to the senior member and it is expected that it will provide sufficient information and evidence to proceed straight to a disciplinary hearing. If additional information is needed, further investigation will be carried out by the existing grievance investigating manager due to their familiarity with the case.
If more information is needed this will be sought prior to a disciplinary hearing taking place. Once all the evidence is available, the disciplinary hearing manager will convene a Disciplinary Hearing in accordance with the Disciplinary Procedure.

Outcome D

In rare cases, disciplinary or other appropriate action may be taken against the reporting party if the grievance hearing manager is satisfied that the grievance is vexatious, malicious or otherwise not made in good faith.

Outcome E

In some situations it may be appropriate to ask the parties to consider entering into a mediation process. Although mediation may be attempted at any time before or after a formal investigation, it may be particularly helpful if it is considered at an early stage before the formal procedure is invoked.

Document control: Last reviewed and updated on 18 February 2025.

7.3.2 The individual raising the grievance will be informed in writing of the outcome of the grievance, normally within ten working days of the grievance hearing manager receiving the investigation report or of the final grievance meeting. The manager will write to the employee detailing their decision, the reasons for that decision and, where appropriate, details of any steps taken to address their concerns or of any further actions required. The employee will also be advised of their right of appeal.

7.3.3 Any employee(s) named in the grievance will also be advised, in writing, of the decision.

8. Appeal

8.1 If an employee is not satisfied by the outcome of the grievance at stage 1, they may write to the Director of HR within ten working days of the date of the decision under Stage 1, exercising their right of appeal.

8.2 The letter must detail the grounds for appeal which should be addressed under one or more of the following headings:

That the procedure was flawed
That the decision was unfair or perverse because the evidence did not support the outcome reached
That new evidence is available that could not have been made available to the original investigation.
That any action proposed was inappropriate in the circumstances of the case

Appeals will be considered by a more senior manager (Appeal Officer) in accordance with the table at Appendix A.

8.3 The purpose of the appeal is to enable the aggrieved employee to explain and discuss the reasons for their appeal. It will focus on the grounds of appeal and should not be a re-hearing of the original grievance.

8.4 The appeal may involve:

Interviewing the aggrieved individual and, if appropriate, the person(s) against whom the original complaint lies and any witnesses
Interviewing the grievance hearing manager and/ or investigating manager
Gathering, where appropriate, additional documentary evidence from the individual and any other relevant persons1
An appeal hearing

8.5 Where an individual has exercised their right to appeal against the outcome of the grievance at stage 1, the HR Advisor will write as soon as reasonably practicable to all the parties concerned notifying them of the arrangements for hearing the appeal. An appeal hearing will be conducted in accordance with the guidance at Appendix C.

8.6 Where the appeal process is varied by the Appeal Officer they will explain the reasons for the variation and record them in the official record of the hearing.

8.7 The outcome following any appeal will be final.

These guidelines must be read in conjunction with the grievance procedure. Reference should be made to HR if there are any further queries.

Appendix A: Levels for action

Level of manager	Informal	Formal	Appeal
If manager is not HoD	Line manager	Line manager	Head of Department/Head of Support Service Directorate
If manager is HoD	HoD	HoD	Dean
If grievance is against HoD	Dean	Dean	DVC
If grievance is against Dean	DVC	DVC	Member of UEB
If grievance is against Head of Support Services Directorate	Chief Financial Operating Officer/ Chief Academic Support Officer	Chief Financial Operating Officer/ Chief Academic Support Officer	Member of UEB
If grievance is against PVC	DVC	DVC	VC
If grievance is against DVC	VC	VC	Chair of Council
If grievance is against VC	Chair of Council	Chair of Council	Committee comprising lay member(s) of Council
If grievance is against Chief Financial Operating Officer	VC	VC	Chair of Council

Appendix B: Conduct of a grievance hearing

1. Preparation

1.1 If it is decided to proceed to a grievance hearing the employee will normally be given ten days notice and invited in writing to attend a hearing. The notice will specify the manager who will conduct the hearing. The employee will be invited to make any written submissions or bring forward witnesses.

1.2 The manager so specified will make arrangements for the hearing and may be accompanied by an HR representative. The purpose of a formal grievance hearing is to establish the facts about an employee's grievance and determine what (if any) action can reasonably be taken to resolve it.

1.3 Prior to the hearing, the parties will submit to the grievance hearing manager the names of any witnesses and an explanation of why their evidence is required together with any written submissions they wish to have considered and a copy of any documentary evidence they intend to rely on at the hearing. They will do so as soon as reasonably practicable and not less than five working days before the date set for the hearing to allow for an exchange of documents between the parties.

1.4 On the basis of the information submitted, the manager conducting and hearing the case will determine whether or not such witness evidence is required and will confirm the witnesses to be called. The manager may request additional witnesses but as they will only be able to consider this shortly before the hearing, notification may be given at the hearing.

1.5 Employees are responsible for making arrangements for their witnesses to attend. Where witnesses are employees of the University, appropriate time off will be facilitated.

2. Conduct of the hearing

2.1 The manager conducting and hearing the case will introduce those present and explain the process that will be undertaken and encourage those present to speak openly.

2.2 Requests for adjournments may be made by any party.

2.3 If a witness is called by any party to the hearing they will be invited to attend the hearing at an appropriate time.

3. Presentation of the case

3.1 Normally the investigating manager will present the findings of the investigation to the manager hearing the grievance. The presenting manager should:

state clearly the nature of the grievance
outline the case by going through the evidence that has been gathered
call witnesses if appropriate
answer questions that relate to the investigation and its outcome
base the report and presentation on their findings/reasonable conclusions arising from the evidence gathered â€“ this will not extend to making recommendations for action

4. The employee

4.1 The employee or their representative will present their case, question witnesses and raise any issues they wishes to have considered.

4.2 The employee or their representative should:

state their case including the nature of their grievance and any issues not addressed by the investigation report
outline the resolution sought
ask questions and present any evidence in support of their case
call witnesses if appropriate

5. The manager conducting and hearing the case

5.1 The manager conducting and hearing the case should:

Use questions to clarify the issues and to check that what has been said is understood.
encourage the employee to speak freely to establish all the facts
summarise the main points of the discussion after questioning is completed
ensure all evidence and points for all parties have been put forward
establish if there are any special circumstances to be taken into account
ask the employee if they have anything further to say or to be taken into account

5.2 The manager conducting and hearing the case will be able to question all parties involved. They will consider all representations before deciding whether the grievance is well founded and, if so, on any steps that have/should be taken to resolve it.

5.3 Adjournment - Before a decision is taken adjourning allows the manager time for reflection and proper consideration of the available evidence and facts of the case. If new facts have emerged or there is any dispute over facts, it may be necessary to adjourn the hearing in order to investigate them and reconvene the hearing at a later date when this has been completed. Any new evidence must be shared with all parties prior to the reconvened hearing.

5.4 Hearing Outcome - If the hearing highlights that the employee's complaint is not well founded then the manager should advise the employee accordingly and bring the proceedings to a close.

5.5 If the manager concludes that the grievance is upheld they may recommend action to address the concerns raised.

5.6 The decision may be given verbally at the hearing and will in any case be conveyed or confirmed in writing within five working days of the hearing. Where it is not possible to give a decision at the hearing the employee will be advised of the delay.

5.7 The letter shall also notify the individual employee of their right to appeal against any adverse decision.

Appendix C: Conduct of an appeals hearing

1 Preparation

1.1 The employee can appeal the outcome of the formal stage under this procedure and must submit in writing their grounds for appeal to the Director of HR within ten days of receiving the letter confirming the outcome of the grievance.

1.2 Appeals will normally be heard within thirty working days of the notice of appeal.

1.3 HR will notify the parties involved (i.e. the employee and the manager who heard the grievance at stage one) of the date of the appeal hearing a minimum of ten days prior to the meeting.

1.4 The parties will send to HR the names of any witnesses and an explanation of why their evidence is required together with any written submissions they wish to have considered and a copy of any documentary evidence they intend to rely on at the hearing. They will do so as soon as reasonably practicable and not less than five working days before the date set for the hearing to allow for an exchange of documents between the parties.

1.5 On the basis of the information submitted, the Appeal Officer will determine whether or not such witness evidence is required and will confirm the witnesses to be called. The Appeals Officer may request additional witnesses but as they will only be able to consider this shortly before the hearing, notification may be given at the hearing.

1.6 Employees are responsible for making arrangements for their witnesses to attend. Where witnesses are employees of the University, appropriate time off will be facilitated.

1.7 HR will send the names of any witnesses to be called and copies of any written submissions and documentary evidence to all parties as soon as these have been exchanged.

1.8 The appeal will be heard by an appeal officer in accordance with the table at Appendix A.

1.9 The appeal officer will have the authority to reach the following conclusions or to make other recommendations:

Confirm the outcome and decision of the original grievance
Uphold the appeal of the employee if there is evidence to prove that the grievance is well founded or if the conduct of the procedure has been unfair*
Adjourn the appeal due to significant new evidence which requires further investigation and consideration
Recommend an alternative course of action as a means to resolve the grievance

*It may be appropriate in such circumstance to recommend a rehearing

1.10 The outcome of the appeal will be final and there will be no further internal right of appeal.

2. Conduct of appeal hearing

2.1 The purpose of the appeal hearing is to establish if the finding of the grievance procedure was appropriate and procedurally correct.

2.2 Requests for adjournments may be made by any party.

2.3 If a witness is called by any party to the appeal they will be invited to attend the hearing at an appropriate time.

3. Appeal procedure

3.1 The appeal officer will open the hearing with introductions and explain:

those present and their roles
the purpose of the meeting which is to consider the employee's case for appeal against the University's procedure
how the meeting will be conducted
the possible outcomes of the hearing

3.2 The employee or their representative will first present, stating their case for appeal and any evidence in support of the case. Witnesses may be called and questioned by the employee and the other parties to the appeal.

3.3 The manager presenting the University case and their advisor will present the reasons why the original decision was taken and call any witnesses. Questions may be put to the presenting manager and any witnesses as above.

3.4 The employee will make a final submission then the employee presenting the University case will make their final submission.

3.5 If new facts have emerged or there is any dispute over facts, it may be necessary to adjourn the appeal hearing in order to investigate them and reconvene the hearing at a later date when this has been completed. Any new evidence must be shared with both parties prior to the reconvened hearing.

3.6 When the appeal officer has all the relevant evidence they will consider their decision after those presenting have withdrawn. This adjournment before a decision is taken allows the appeal officer time for reflection and proper consideration of the case for appeal and any additional evidence that has been presented.

3.7 The decision of the appeal officer may be conveyed verbally to the employee after a period of adjournment unless the appeal officer requires more time for reflection and consideration. The decision will be conveyed (or confirmed) in writing within ten working days of the hearing. The letter will contain the reasons for the appeal officer's decision as to whether the employee's appeal is upheld.

Document control: Last reviewed and updated on 18 February 2025.

Grievance procedure

Grievance documents